monitored with professional investment advices. If investors encounter any solicitation to transfer money into an account of securities firm, whether or not it is the firm that investors have already opened
monitored with professional investment advices. If investors encounter any solicitation to transfer money into an account of securities firm, whether or not it is the firm that investors have already opened
which social media will be used to disseminate such information.1 1. https://www.sec.gov/news/press-release/2013-2013-51htm Theoretical Perspective • The firm strategy may seem obvious… • Given the nature
: .......................................................... E-mail address: ........................................................................................................................ 7. Affiliated with audit firm
: .......................................................... E-mail address: ........................................................................................................................ 7. Affiliated with audit firm
to create wealth, financial stability and sustainability of the firm. 4. Disclosure and Transparency Principle: The board of directors should ensure that all important information relevant to the
to create wealth, financial stability and sustainability of the firm. 4. Disclosure and Transparency Principle: The board of directors should ensure that all important information relevant to the
to create wealth, financial stability and sustainability of the firm. 4. Disclosure and Transparency Principle: The board of directors should ensure that all important information relevant to the
to create wealth, financial stability and sustainability of the firm. 4. Disclosure and Transparency Principle: The board of directors should ensure that all important information relevant to the
AQIs ) 1 % 2564 2563 1 (Leadership Responsibilities for Quality within the Firm) ( ) (1) 2 (Relevant Ethical Requirements) ( ) (3) 3 (Acceptance and Continuance of Client Relationships and Specific